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Faye D Draper

CRD# 3148113·Registered 1998 - 2011
Previously Registered: Being a previously registered professional could mean that Faye is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Faye D Draper, who also goes by Faye Darlene Draper, Faye D Lynch, Faye D Smith, was a registered financial advisor. Faye was a previously registered financial professional and started their career in finance 1998 - 2011. Faye had worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24, Series 9, Series 10 and Series 26 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Faye Darlene Draper, Faye D Lynch, Faye D Smith

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

27 years in the financial services industry

Current & Past Employments

EVERENCE SECURITIES, INC.·CRD# 128158
BD
Goshen, IN
November 11, 2009 - July 6, 2011
EVERENCE SECURITIES, INC.·CRD# 128158
BD
Goshen, IN
November 4, 2009 - November 5, 2009
CONCOURSE FINANCIAL GROUP SECURITIES, INC.·CRD# 15708
RIA
Raleigh, NC
October 22, 2008 - November 29, 2018
CONCOURSE FINANCIAL GROUP SECURITIES, INC.·CRD# 15708
BD
Raleigh, NC
October 21, 2008 - November 29, 2018
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC·CRD# 2881
RIA
Mishawaka, IN
November 30, 2005 - October 13, 2008
ROBERT W. BAIRD & CO. INCORPORATED·CRD# 8158
BD
Milwaukee, WI
January 28, 2000 - January 1, 2002
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC·CRD# 2881
BD
Mishawaka, IN
December 14, 1998 - October 13, 2008

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Current Firm

ES
EVERENCE SECURITIES, INC.

EVERENCE SECURITIES, INC. | MMA SECURITIES, INC.

CRD#: 128158 / SEC#: 8-66095
BD
Terminated by SEC on 09/01/2017

Contact Information

Established

Indiana since 05/16/2003

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
EVERENCE HOLDINGS, INC.SHAREHOLDER—
CULP, EUNICE SARAHDIRECTOR4698923
FISHER, KERRI DEANNESEC/TREAS5101394
HERTZLER, JULIE LYNNDIRECTOR6440545
KAUFFMAN, MARLO JAYPRESIDENT/CHIEF COMPLIANCE OFFICER2432286
KAUFMAN, STEVEN RDIRECTOR—
KILMER, DEBORAH MARIEVICE PRESIDENT5733208

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Nov 2005About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 2000About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jan 2001About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Dec 1998About the Series 6 exam

Series 24 — General Securities Principal Examination

Passed Jan 2009About the Series 24 exam

Series 9 — General Securities Sales Supervisor - Options Module Examination

Passed Mar 2001About the Series 9 exam

Series 10 — General Securities Sales Supervisor - General Module Examination

Passed Mar 2001About the Series 10 exam

Series 26 — Investment Company Products/Variable Contracts Principal Examination

Passed May 2000About the Series 26 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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